Mary A. Dawson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Ann Dawson, who also goes by Mary Ann Roberson, Mary Ann Ann Roberson-dawson, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1990. Mary had worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2014 - March 11, 2016
SCOTTRADE, INC.
August 17, 2009 - July 14, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 12, 2009 - July 14, 2011
TD AMERITRADE, INC.
August 12, 2009 - July 14, 2011
TD AMERITRADE, INC.
September 8, 2005 - June 5, 2009
CHARLES SCHWAB & CO., INC.
March 2, 1992 - June 5, 2009
CHARLES SCHWAB & CO., INC.
March 22, 1991 - February 20, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 1990 - February 21, 1991
J. W. GANT & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/15/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
